N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack M. Armstrong 93-00031 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: Leny K. Wallen-Friedman, Esq., of Fruth & Anthony, P.A. For Respondent: Thomas P. Fitzgerald, Esq., of Altheimer & Gray CASE INFORMATION Statement of Claim filed: December 28, 1992. Claimant's Submission Agreement signed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant CTI Logistics, Inc. vs. Case # 93-00030 Name of Respondents Merrill, Lynch Pierce, Fenner & Smith, Inc. John Eckert REPRESENTATION For Claimant, CTI Logistics, Inc. ("Claimant"), Harry L. Garman, Esq., from the law firm of Garman and Andur. For Respondents, Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and John E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nameo^Clainiant Joseph M. McGovern 93-00029 Name of Respondents Smith Barney Harris Upham & Co., Inc. John J. Connors CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Joseph M. McGovern, who appeared Pro Se, alleged that Respondent John J. Connors, stockbroker for Responden

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Joan T. Ashton 93-00028 Name nf Respondent Karen A. Shockley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1993, Claimant Joan T. Ashton, who appeared Pro Se, alleged that Respondent Karen A. Shockley of the finn Chatfield Dean Investment Bankers & Co., placed her funds in unsuitable securities, such as NTN Canada

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Datek Securities Corp. 93-00013 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1993, Claimant Datek Securities Corp., through its representative, Simon S. Kogan, Es^Krf-NY, N.Y., alleged that Respondent Prudential Securities, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05301 PaineWebber Incorporated, Claimant vs. Terrance Cephas, Respondent. ATTORNEYS: Claimant appeared through Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: November 30, 2000 CASE SUMMARY: Claimant alleged that Respondent breached his contractual agreement, and failed to repay a debit balance in his Painewebber Resour

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00537 Thomas Leahy, claimant vs. Patrick Joseph Leahy, respondent. ATTORNEYS: Claimant appeared Pro Se, Huntingdon Beach, CA. Respondent did not respond to the Statement of Claim. DATE FILED: February 7, 2000 CASE SUMMARY: Claimant alleged that the respondent purchased and sold shares of stock in his account without his knowledge or authorization. ARBITRATOR'S REPORT: Based upo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dr. John A. Diddams. Dr. Craig G. Stien. Joyce Smyth. Sandy Miller, Gail DeMarse, Fran Poisson-llnicky, Kay Mitchell, Denise Libby, Linda Paquet. and Karen Maki 93-00008 Name of Respondents Offerman & Company Wvman C. Johnson REPRESENTATION For all Claimants at the hearing: David P. Pearson, Esq. of Winthrop & Wein

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant First of Michigan Corporation 93-00007 Nyme of Respondent Wank Enterprises Inc. For Claimant: First of Michigan Corporation ("First") was represented by Michael C. Fayz, Esq. of Miller, Canfield, Paddock and Stone, located in Detroit, Michigan. For Respondent: Wank Enterprises Inc. ("Wank") was represented by Thomas P. Hogan, Esq. o

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Ronald C. and Helen D. Manning 93-00003 Name of Respondents F.N. Wolf & Co., Inc. Jeffrey J. Frye CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1993, Claimants Ronald C. and Helen D. Manning, who appeared Pro Se, alleged that Respondent Jeffrey J. Frye, Account Execu